2004 US Code
Title 15 - COMMERCE AND TRADE
CHAPTER 2C - PUBLIC UTILITY HOLDING COMPANIES
Sec. 79z-3 - Penalties
View MetadataPublication Title | United States Code, 2000 Edition, Supplement 4, Title 15 - COMMERCE AND TRADE |
Category | Bills and Statutes |
Collection | United States Code |
SuDoc Class Number | Y 1.2/5: |
Contained Within | Title 15 - COMMERCE AND TRADE CHAPTER 2C - PUBLIC UTILITY HOLDING COMPANIES Sec. 79z-3 - Penalties |
Contains | section 79z-3 |
Date | 2004 |
Laws in Effect as of Date | January 3, 2005 |
Positive Law | No |
Disposition | standard |
Source Credit | Aug. 26, 1935, ch. 687, title I, §29, 49 Stat. 836; Pub. L. 94-29, §27(c), June 4, 1975, 89 Stat. 163. |
Statutes at Large References | 49 Stat. 836 64 Stat. 1265 89 Stat. 163 |
Public Law References | Public Law 94-29 |
§79z–3. Penalties
Any person who willfully violates any provision of this chapter or any rule, regulation, or order thereunder (other than an order of the Commission under subsections (b), (d), (e), or (f) of section 79k of this title), or any person who willfully makes any statement or entry in any application, report, document, account, or record filed or kept or required to be filed or kept under the provisions of this chapter or any rule, regulation, or order thereunder, knowing such statement or entry to be false or misleading in any material respect, or any person who willfully destroys (except after such time as may be prescribed under any rules or regulations under this chapter), mutilates, alters, or by any means or device falsifies any account, correspondence, memorandum, book, paper, or other record kept or required to be kept under the provisions of this chapter or any rule, regulation, or order thereunder, shall upon conviction be fined not more than ,000 or imprisoned not more than five years, or both, except that in the case of a violation of a provision of subsection (a) or (b) of section 79d of this title by a holding company which is not an individual, the fine imposed upon such holding company shall be a fine not exceeding 0,000; but no person shall be convicted under this section for the violation of any rule, regulation, or order if he proves that he had no knowledge of such rule, regulation, or order.
(Aug. 26, 1935, ch. 687, title I, §29, 49 Stat. 836; Pub. L. 94–29, §27(c), June 4, 1975, 89 Stat. 163.)
Amendments1975—Pub. L. 94–29 substituted “or imprisoned not more than five years” for “or imprisoned not more than two years”.
Effective Date of 1975 AmendmentAmendment by Pub. L. 94–29 effective June 4, 1975, see section 31(a) of Pub. L. 94–29, set out as a note under section 78b of this title.
Transfer of FunctionsFor transfer of functions of Securities and Exchange Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, §§1, 2, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1265, set out under section 78d of this title.
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